NFA: 2000 Dolares de multa contra la firma de divisas de Nueva York Alpari US LLC | Sobre todo | Foro

Parece que la regulación idónea aunque para algunos excesiva por parte de la NFA va dando frutos y van destapando asuntos que muchos brokers no están disupestos a asumir como es este caso en donde se afirma por parte de la NFA: “Alpari violó varios de los requisitos de la NFA, incluyendo cancelar mal las operaciones en divisas y la eliminación de los beneficios de las cuentas de clientes, en su defecto, a los oportunos datos de los informes comerciales y otra información requerida por la NFA, para cumplir altos estándares de honorabilidad comercial , el no cumplir con una mejora de los requisitos de supervisión de la NFA y por no mantener registros precisos. La decisión también encontró que Alpari – junto con Harmon y Lani no supervisaron los informes.”

Aquí esta la noticia extraida directamente del sitio oficial de la NFA:

For Immediate Release
July 26, 2012
For more information contact:
Karen Wuertz (312) 781-1335, kwuertz@nfa.futures.org
Larry Dyekman (312) 781-1372, ldyekman@nfa.futures.org
NFA issues $200,000 fine against New York forex firm Alpari US LLC

July 26, Chicago – National Futures Association (NFA) has ordered Alpari US LLC, a futures commission merchant and forex dealer Member located in New York City, to pay a $200,000 fine as a result of an NFA Complaint filed in June 2012 and a settlement offer submitted by Alpari and two of the firm's principals, Jermaine C. Harmon and Richard A. Lani.
The Decision, issued by NFA's Business Conduct Committee, found Alpari violated several NFA requirements, including improperly cancelling forex trades and removing profits from customer accounts, failing to timely report trade data and other required information to NFA, failing to observe high standards of commercial honor, failing to comply with NFA's Enhanced Supervisory Requirements and failing to keep accurate records. The Decision also found that Alpari – together with Harmon and Lani – failed to supervise.
In addition to the $200,000 fine, Alpari is required to refund within 30 days to customers losses they incurred as a result of the price adjustments that Alpari made to their accounts in connection with an October 2011 "market event." Alpari must also provide verification to NFA that these refunds were paid to and received by customers.
Alpari must also submit a written report to NFA within 180 days of the effective date of the Decision which documents the results of an independent review of Alpari's electronic trading platforms conducted by a qualified outside party and the steps Alpari has implemented to remedy deficiencies with the firm's internal controls.
Alpari, Harmon and Lani neither admitted nor denied the charges. The complete text of the Complaint and Decision are available onNFA's website.

Fuente: http://www.nfa.futures.org/new…..cleID=4087

Es una lastima que un bróker con tantos años en este mercado se vea sumido en estas situaciones, esperemos los que operamos con brokers regulados por la NFA que siga cumpliendo con su labor de hacer cumplir las normas.